Vice President
Confidential
Vice President, Wealth Management Alternative Investments Attorney
About the Company
Profitable broker & financial advisory firm
Industry
Financial Services
Type
Public Company
Founded
1989
Employees
5001-10,000
Categories
- Financial Services
- Consulting & Professional Services
- Brokerage
- Finance
- Investment Banking
- San Diego
- Employee Advisor
- Financial Advisor
- Financial Professional
- LPL
- LPL Financial
- Linsco Advisor
- Linsco Private Ledger
- RIA
- Registered Investment Advisor
- Strategic Wealth Services
- Strategic Wealth Services Advisor
- Investing
- Financial Advisers
Specialties
- independent broker/dealer
- institution services
- ria
- independent advisors
- custom clearing services
- and financial services
Business Classifications
- B2B
About the Role
The Company is seeking a Vice President, Assistant General Counsel with a focus on alternative investments, complex products, and digital assets. The successful candidate will be responsible for providing strategic legal advice and day-to-day legal support for the company's alternative investments platform. This includes counseling on due diligence standards, sales practices, and controls, as well as drafting and revising agreements with alternative investment sponsors. The role also involves interacting with various internal teams, such as compliance, supervision, surveillance, product due diligence, onboarding, research, and risk management. The ideal candidate should have a strong background in federal, state, and SRO regulatory compliance, enforcement defense, and/or agency or private civil litigation/arbitration defense, with a specific focus on the Securities Exchange Act, Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA rules and regulations. Applicants for this role at the company should have a minimum of 6 years of experience in the financial services industry, particularly in the broker-dealer and retail investment advisory business. Proficiency in legal writing, research, and communication is essential, as is a working knowledge of federal securities laws and the regulatory landscape applicable to broker-dealers and registered investment advisers. The role requires the ability to manage a substantial docket autonomously, a strong understanding of alternative investments, and an interest or experience in artificial intelligence utilization. The candidate should be a highly motivated self-starter, with the ability to work both independently and as part of a team, and possess excellent analytical, problem-solving, and interpersonal skills.
Hiring Manager Title
Senior Vice President
Functions
- Legal
$135.96k - $226.6k
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